Document


As filed with the Securities and Exchange Commission on May 22, 2018




SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

 
FORM SD
(SPECIALIZED DISCLOSURE REPORT)

————————

EMCORE CORPORATION
Exact Name of Registrant as Specified in its Charter

————————

New Jersey
000-22175
22-2746503
State of Incorporation
Commission File Number
IRS Employer Identification Number
 
2015 W. Chestnut Street, Alhambra, CA  91803
Address of principal executive offices, including zip code

————————

http://api.tenkwizard.com/cgi/image?quest=1&rid=23&ipage=12271721&doc=3
EMCORE Corporation
2015 W. Chestnut Street
Alhambra, CA 91803
(626) 293-3400
(Name and telephone number, including area code, of the person to contact in connection with this report)

————————

The rule pursuant to which this form is being filed, and the period to which the information in this form applies:

þ    Rule 13p-1 under the Securities Exchange Act (17 CFR 240.13p-1) for the reporting period from January 1 to December 31, 2017.









INFORMATION TO BE INCLUDED IN THIS REPORT

SECTION 1 - CONFLICT MINERALS DISCLOSURE

Item 1.01 Conflict Minerals Disclosure and Report

In accordance with the disclosure requirements promulgated by the U.S. Securities and Exchange Commission, EMCORE Corporation has prepared a Conflict Minerals Report for the calendar year ended December 31, 2017. The Conflict Minerals Report is publicly available at the following Internet website: http://www.emcore.com/company/supply-chain-management/.

Item 1.02 Exhibit

The Conflict Minerals Report required by Item 1.01 is provided as an Exhibit to this Form SD.


SECTION 2 - EXHIBIT

Exhibit 1.01 - Conflict Minerals Report, as required by Items 1.01 and 1.02 of this Form SD.


SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 
EMCORE CORPORATION
 Dated: May 22, 2018
 
 
 
By: /s/ Jikun Kim
 
Name: Jikun Kim
Title:   Chief Financial Officer



Exhibit





EMCORE Corporation
Form SD-2017

Exhibit 1.01
Conflict Minerals Report

Conflict Minerals Disclosure

I.
Introduction

EMCORE Corporation is providing this Conflict Minerals Report (“CMR”) for calendar year 2017, as an Exhibit to Form SD, pursuant to Rule 13p-1 and Form SD (the “Rule”) under the Securities Exchange Act of 1934, as amended. The Rule requires disclosure of certain information when a company manufactures or contracts to manufacture a product and any “conflict mineral” specified in the Rule is necessary for the functionality or production of such products. Conflict Minerals are defined by paragraph (d)(3) of Form SD as columbite-tantalite (coltan), cassiterite, gold, wolframite, or their derivatives, which are limited to tantalum, tin, and tungsten, or any other mineral or its derivatives determined by the U.S. Secretary of State to be financing conflict in the Covered Countries (collectively, “Conflict Minerals” or “3TG”). The “Covered Countries” for purposes of the Rule and this CMR are the Democratic Republic of the Congo (“DRC”) and any country that shares an internationally recognized border with the DRC.

As used in this document, “EMCORE,” the “Company” and the words "we," "our," and "us" refer to EMCORE Corporation and its subsidiaries.

II.
Overview

Company Profile

    
EMCORE is a provider of advanced Mixed-Signal Optics products that enable communications systems and service providers to meet growing demand for increased bandwidth and connectivity. The Mixed-Signal Optics technology at the heart of our broadband communications products is shared with our fiber optic gyros and inertial sensors to provide the aerospace and defense markets with state-of-the-art navigations systems technology. EMCORE has fully vertically-integrated manufacturing capability through our Indium Phosphide (“InP”) compound semiconductor wafer fabrication facility at our headquarters in Alhambra, CA. The facility supports EMCORE’s vertically-integrated manufacturing for our laser, transmitter and receiver products for cable TV and other broadband applications, fiber optic gyro sensors for navigation systems, and chip devices for telecom and datacom applications.

As described in this CMR, certain of EMCORE’s operations manufacture, or contract to manufacture, products that contain 3TGs that are necessary to the functionality or production of those products. However, we do not directly source 3TGs from mines, smelters or refiners. We believe that, in most cases, we are several steps removed in the supply chain from these market participants, limiting our influence over their sourcing. We must therefore rely on our direct suppliers to provide information regarding the origin of necessary 3TGs that are included in our products, including sources of 3TGs that are supplied to them by sub-tier suppliers.






Conflict Minerals Policy

EMCORE is committed to responsible sourcing from its suppliers and each supplier is required to warrant that it has policies and procedures in place to determine whether parts and products supplied to EMCORE are DRC conflict free (i.e., do not contain metals derived from 3TGs). Each of our suppliers must further warrant that it has established policies, due diligence frameworks, and management systems consistent with the Organization for Economic Co-operation and Development (OECD) Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas. Upon EMCORE’s request, each of our suppliers shall permit EMCORE to audit its practices and procedures and shall provide EMCORE with any information reasonably requested. In addition, each supplier agrees to provide information to EMCORE necessary for EMCORE to comply with its conflict minerals reporting requirements, including without limitation information under the Conflict Minerals Reporting Template, a supply chain survey designed by the Responsible Minerals Initiative (“RMI”), formerly the the Conflict Free Sourcing Initiative. Our Conflict Minerals Policy is available on our corporate website at http://emcore.com/our-company/quality-management/supply-chain-management/

III.     Reasonable Country of Origin Inquiry Information

EMCORE has conducted a good faith reasonable country of origin inquiry (“RCOI”) to determine whether the necessary 3TGs included in and necessary to the functionality of our products described under “Product Description” in Section V below originated in the Covered Countries or came from recycled or scrap sources. We engaged a leading 3TGs data management consultant (the “Consultant”) to assist us in conducting this RCOI.

To the extent applicable, EMCORE’s RCOI utilized the same processes and procedures as for our due diligence described in Section IV below. This RCOI process included conducting an inquiry of our direct suppliers using a mechanism common in the technology industry: RMI's Conflict Minerals Reporting Template (“CMRT”) version 5.01 or higher. Based on the results of our RCOI, we are required to exercise due diligence on the source and chain of custody of the necessary 3TGs contained in our products. Our due diligence efforts are discussed further in Section IV of this CMR.


IV.    Due Diligence Process and Measures Performed

Based on the results of our RCOI, the Consultant engaged by EMCORE also assisted us in conducting due diligence on the source and chain of custody of 3TGs in our products. The Company’s due diligence measures are designed to attempt to ascertain the facilities used to process any 3TGs in our products, the country of origin of any 3TGs in our products and the mine(s) or location of origin with the greatest possible specificity.

The design of our due diligence system, its conformity with an internationally-recognized due diligence framework, and a description of the measures we have undertaken to exercise our due diligence, are detailed below.

(i)      Conformity to a Recognized Due Diligence Framework

EMCORE’s due diligence measures have been designed to conform in all material respects to the internationally-recognized due diligence framework of the Organization for Economic Co-operation and Development (“OECD”) Due Diligence Guidance for Responsible Supply Chain of Minerals from Conflict- Affected and High-Risk Areas (Third Edition), and its related supplements. This OECD framework (“Framework”) is the only due diligence framework recognized by the Securities and Exchange Commission (“SEC”) to date. The Framework stresses five main areas of Due Diligence design, detailed below in IV(i)(a) - (e).






a.      Establish Strong Company Management Systems

First, EMCORE has assigned a Senior Director of Operations to (i) manage the 3TGs compliance program, (ii) liaise with the Consultant, (iii) conduct reviews of collected data, and (iv) make decisions regarding the due diligence program, including risk mitigation. Second, EMCORE has requested that suppliers of goods incorporated into our products provide us with Conflict Mineral declarations for their products (see below, §§ IV(i)(b & c)). Third, EMCORE’s position statement with respect to 3TGs, which is located on our website (at http://www.emcore.com/wp-content/uploads/EMCORE-Conflict-Minerals-Policy-Statement.pdf), encourages our suppliers to source responsibly, through their sub-suppliers and on down through their own supply chains. In this position statement, we encourage our suppliers and their sub-suppliers to use smelters or refiners (“smelters” or “SORs”) that are conformant to assessment protocols for conflict-free sourcing wherever possible. Using its Responsible Minerals Assurance Process audit program, the RMI, an organization founded by members of the Electronic Industry Citizen Coalition (“EICC”) and the Global e-Sustainability Initiative (“GeSI”), is taking action to address responsible sourcing, using independent third-party audits to identify smelters and refiners that have systems in place to assure sourcing of only conflict-free materials.)

b.      Identify and Assess Risk in the Supply Chain

To obtain chain of custody declarations from our suppliers, we utilize the CMRT described above. This CMRT is distributed to all of our suppliers, with regular and persistent follow-ups (“Escalations”), to ensure maximum compliance and feedback. The CMRT includes questions on (i) the use and origin of 3TGs in our components, (ii) supplier engagement with their sub-tier suppliers, and (iii) smelters and points of origin of the constituent 3TGs. The Consultant provides suppliers with guidance and requirements to prepare them ahead of time for full compliance in completing the CMRT, our principal information-gathering step on the origin, source and chain of custody of 3TGs contained in components and materials supplied to us. This kit includes materials to educate suppliers about the SEC rule on 3TGs, responsible supply chain management, and a letter that suppliers can use if they need to request information from their sub-tier suppliers.

The CMRT responses are only a first step in our engagement with suppliers. The responses from suppliers are then individually validated, and examined both for completeness and any internal inconsistencies between the data they provide. Any of these issues are resolved with our suppliers by phone and email. This follow-up to incomplete or inaccurate information is described further in §IV(i)(c), below.

To the extent that a completed response identified a smelter or refiner, the Company reviewed this information against the list of smelters provided by the RMI that are either conformant to audit protocols or active in the audit itself. The Company also attempted to ascertain whether the smelter or refiner information provided was specific to the products supplied to the Company to determine whether the identified smelters are in the Company’s supply chain.

c.      Design and implement a Strategy to Respond to Identified Risks

As outlined above, we have developed processes for Escalations and supplier engagement. This allows us to direct needed questions and follow-up to suppliers based on their varying responses to the CMRT. Escalations are used when, among other issues, suppliers are late in responding, have incomplete information, provide feedback inconsistent with prior responses, or when other issues are identified. An Escalation may include individual written requests for information, conference calls and meetings. Each Escalation is dated and tagged in our data management system, for a variety of further actions. These actions might include direct supplier contact through our business channels, changes of scope of the diligence request, reformatting supplier responses into the correct format, time extensions for delayed responses, follow-up with alternative contacts in the supplying organization, or the dropping of outdated component parts from the EMCORE products list. The readiness of suppliers to provide data is assessed and scaled in our diligence logs, and these scores may factor into decisions made by EMCORE when awarding future supply contracts.






d.      Carry Out Independent Third Party Audit of Supply Chain Due Diligence at Identified Points in the Supply Chain

Because the Company does not source 3TG directly from smelters or refiners, we rely on third parties, including the RMI, to coordinate and conduct third party audits of these facilities. The Company utilizes the published results of these third-party audits to determine whether a specified smelter or refiner processes 3TG that directly or indirectly finance or benefit armed groups.

e.      Report on Supply Chain Due Diligence

Our Form SD and this CMR are both available under “Supply Chain Management” in the Company section of our website at http://www.emcore.com/company/supply-chain-management/. EMCORE will file a Form SD (and CMRs, as necessary) with the SEC on an annual basis, pursuant to Rule 13p-1 of the Securities Exchange Act of 1934, as amended.


V.    Product Description; Processing Facilities

Product Description - Currently, EMCORE’s business is of a broad portfolio of compound semiconductor-based products for the fiber optics markets.

Cable Television (CATV) Products

These include forward and return-path analog and digital lasers, receivers, photodetectors and subassembly components, analog digital fiber-optic transmitters, and quadrature amplitude modulation (QAM) transmitters and receivers, optical switches and CATV fiber amplifiers.

Laser, Receiver and Photodetector Component Products

These include lasers, receivers photodetectors, including CWDM (Coarse Wavelength Division Multiplexing) and DWDM (Dense Wavelength Division Multiplexing) products, 1310 nm and 1550 nm Distibuted Feedback lasers and optical receivers optimized for CATV, DOCSIS (Data Over Cable Service Interface Specification) 3.1 and wireless applications.

Radio Frequency over Glass (RFoG) Fiber-To-The-Premises (FTTP) Products

These include an RFoG Optical Networking Unit (ONU) transceivers, analog fiber optic transmitters for video overlay, high-power Erbium-Doped Fiber Amplifiers (“EDFA”), analog and digital lasers, photodetectors and subassembly components.

Satellite/Microwave Communications (Satcom) Products

These include transmitters, receivers, subsystems, and systems that transport wideband radio frequency and microwave signals between satellite hub equipment and antenna dishes.

Wireless Communications Products

These include DFB lasers and optical receivers specifically designed for wireless networks, 3 GHz and 6.5 GHz fiber optic links for cellular backhaul, 4G LTE and Distributed Antenna Systems.

High-Power Gain Chips Products

These include gain chips for tunable lasers and transceivers utilized in coherent DWDM optical transmission systems.






GPON Fiber-To-The-Premises (FTTP) and Data Center Chip Products

These include 2.5G and 10G PON DFB and 10G Fabry-Perot laser chips, 2.5G and 10G APD top and bottom illuminated chips and 10G PIN photodiode chips.

Fiber Optic Gyroscope Products

These include products ranging from tactical to navigational grade fiber optic gyroscopes.

Inertial Measurement Units and Navigation Systems Products

These include inertial measurement units, inertial navigation systems and micro inertial navigation systems.

Processing Facilities - Based on our RCOI or due diligence process, as applicable, and the information received from our suppliers, the facilities listed on Annex A were identified by the Company’s suppliers as the smelters and refiners that processed the 3TG present in and necessary to the functionality of products manufactured by the Company in the calendar year 2017.

Due to our position in the supply chain, which we discuss above, we rely on our suppliers for accurate smelter and refiner information. Our due diligence measures cannot provide adequate certainty regarding the source and chain of custody of the necessary 3TGs contained in our in-scope products. The information from our suppliers is still evolving and may contain company level declarations. As such, this smelter list is presented in good faith as the best information we have to date. This list may contain smelters that are not in our supply chain and there may be other smelters not yet identified in our due diligence process. We will continue to update the list as our information and the relevant third-party data from RMI, LBMA, and RJC improves.


VI.    Future Due Diligence

We will continue to communicate our expectations and information requirements to our direct suppliers. Over time, we anticipate that the amount of information globally on the traceability and sourcing of the necessary 3TGs in our products will increase and improve our knowledge. We will continue to make inquiries to our direct suppliers and undertake additional risk assessments when potentially relevant changes in facts or circumstances are identified. If we become aware of a supplier whose due diligence needs improvement, we may continue the trade relationship while that supplier improves its compliance program. We expect our suppliers to take similar measures with their suppliers to ensure alignment throughout the supply chain.

In addition to those above, the Company will undertake the following steps during the next compliance period:

Continue to collect responses from suppliers using the most recent revision of the CMRT.
Engage with suppliers that did not provide a response in 2017 or provided incomplete responses to
help with our data collections for 2018.
Monitor and track performance of risk mitigation efforts.
Compare and validate RCOI results to information collected via independent conflict-free smelter validation programs such as the RMI.







Annex A

Smelter and Refiner Information

Metal
Smelter Name
Smelter ID
RMI Audit Status*
Gold
Abington Reldan Metals, LLC
CID002708
Not Enrolled
Gold
Advanced Chemical Company
CID000015
Conformant
Gold
African Gold Refinery
CID003185
Not Enrolled
Gold
Aida Chemical Industries Co., Ltd.
CID000019
Conformant
Gold
Al Etihad Gold Refinery DMCC
CID002560
Conformant
Gold
Allgemeine Gold-und Silberscheideanstalt A.G.
CID000035
Conformant
Gold
Almalyk Mining and Metallurgical Complex (AMMC)
CID000041
Conformant
Gold
AngloGold Ashanti Córrego do Sítio Mineração
CID000058
Conformant
Gold
Argor-Heraeus S.A.
CID000077
Conformant
Gold
Asahi Pretec Corp.
CID000082
Conformant
Gold
Asahi Canada Ltd.
CID000924
Conformant
Gold
Asahi Refining USA Inc.
CID000920
Conformant
Gold
Asaka Riken Co., Ltd.
CID000090
Conformant
Gold
Atasay Kuyumculuk Sanayi Ve Ticaret A.S.
CID000103
Not Enrolled
Gold
AU Traders and Refiners
CID002850
Conformant
Gold
Aurubis AG
CID000113
Conformant
Gold
Bangalore Refinery
CID002863
Active
Gold
Bangko Sentral ng Pilipinas (Central Bank of the Philippines)
CID000128
Conformant
Gold
Boliden AB
CID000157
Conformant
Gold
C. Hafner GmbH + Co. KG
CID000176
Conformant
Gold
Caridad
CID000180
Not Enrolled
Gold
CCR Refinery - Glencore Canada Corporation
CID000185
Conformant
Gold
Cendres + Métaux S.A.
CID000189
Conformant
Gold
Chimet S.p.A.
CID000233
Conformant
Gold
Chugai Mining
CID000264
Not Enrolled
Gold
Daejin Indus Co., Ltd.
CID000328
Conformant
Gold
Daye Non-Ferrous Metals Mining Ltd.
CID000343
Not Enrolled
Gold
Degussa Sonne/Mond Goldhandel GmbH
CID002867
Not Enrolled
Gold
DODUCO GmbH
CID000362
Conformant





Gold
Dowa
CID000401
Conformant
Gold
DS PRETECH Co., Ltd.
CID000425
Active
Gold
DSC (Do Sung Corporation)
CID000359
Conformant
Gold
Eco-System Recycling Co., Ltd.
CID000425
Conformant
Gold
Elemetal Refining, LLC
CID001322
Not Enrolled
Gold
Emirates Gold DMCC
CID002561
Conformant
Gold
Fidelity Printers and Refiners Ltd.
CID002515
Not Enrolled
Gold
GCC Gurjat Gold Centre Pvt. Ltd.
CID002852
Not Enrolled
Gold
Geib Refining Corporation
CID002459
Conformant
Gold
Gold Refinery of Zijin Mining Group Co., Ltd.
CID002243
Conformant
Gold
Great Wall Precious Metals Co., Ltd. of CBPM
CID001909
Not Enrolled
Gold
Guangdong Jinding Gold Limited
CID002312
Not Enrolled
Gold
Guoda Safina High-Tech Environmental Refinery Co., Ltd.
CID000651
Not Enrolled
Gold
Hangzhou Fuchunjiang Smelting Co., Ltd.
CID000671
Not Enrolled
Gold
Heesung Group
CID000689
Conformant
Gold
Heimerle + Meule GmbH
CID000694
Conformant
Gold
Heraeus Metals Hong Kong Ltd.
CID000707
Conformant
Gold
Heraeus Precious Metals GmbH & Co. KG
CID000711
Conformant
Gold
Hunan Chenzhou Mining Co., Ltd.
CID000767
Not Enrolled
Gold
HwaSeong CJ Co., Ltd.
CID000778
Not Enrolled
Gold
Inner Mongolia Qiankun Gold and Silver Refinery Share Co., Ltd.
CID000801
Conformant
Gold
Ishifuku Metal Industry Co., Ltd.
CID000807
Conformant
Gold
Istanbul Gold Refinery
CID000814
Conformant
Gold
Italpreziosi
CID002765
Conformant
Gold
Japan Mint
CID000823
Conformant
Gold
Jiangxi Copper Co., Ltd.
CID000855
Conformant
Gold
JSC Ekaterinburg Non-Ferrous Metal Processing Plant
CID000927
Conformant
Gold
JSC Uralelectromed
CID000929
Conformant
Gold
JX Nippon Mining & Metals Co., Ltd.
CID000937
Conformant
Gold
Kaloti Precious Metals
CID002563
Not Enrolled
Gold
Kazakhmys Smelting LLC
CID000956
Not Enrolled
Gold
Kazzinc
CID000957
Conformant
Gold
Kennecott Utah Copper LLC
CID000969
Conformant
Gold
KGHM Polska MiedŸ Spó³ka Akcyjna
CID002511
Active





Gold
Kojima Chemicals Co., Ltd.
CID000981
Conformant
Gold
Korea Zinc Co., Ltd.
CID002605
Conformant
Gold
Kyrgyzaltyn JSC
CID001029
Conformant
Gold
Kyshtym Copper-Electrolytic Plant ZAO
CID002865
Not Enrolled
Gold
L'azurde Company For Jewelry
CID001032
Not Enrolled
Gold
Lingbao Gold Co., Ltd.
CID001056
Not Enrolled
Gold
Lingbao Jinyuan Tonghui Refinery Co., Ltd.
CID001058
Not Enrolled
Gold
L'Orfebre S.A.
CID002762
Active
Gold
LS-NIKKO Copper Inc.
CID001078
Conformant
Gold
Luoyang Zijin Yinhui Gold Refinery Co., Ltd.
CID001093
Not Enrolled
Gold
Marsam Metals
CID002606
Conformant
Gold
Materion
CID001113
Conformant
Gold
Matsuda Sangyo Co., Ltd.
CID001119
Conformant
Gold
Metalor Technologies (Hong Kong) Ltd
CID001149
Conformant
Gold
Metalor Technologies (Singapore) Pte., Ltd.
CID001152
Conformant
Gold
Metalor Technologies (Suzhou) Ltd.
CID001147
Conformant
Gold
Metalor Technologies S.A.
CID001153
Conformant
Gold
Metalor USA Refining Corporation
CID001157
Conformant
Gold
Metalúrgica Met-Mex Peñoles S.A. De C.V.
CID001161
Conformant
Gold
Mitsubishi Materials Corporation
CID001188
Conformant
Gold
Mitsui Mining and Smelting Co., Ltd.
CID001193
Conformant
Gold
MMTC-PAMP India Pvt., Ltd.
CID002509
Conformant
Gold
Modeltech Sdn Bhd
CID002857
Active
Gold
Morris and Watson
CID002282
Not Enrolled
Gold
Morris and Watson Gold Coast
CID002866
Not Enrolled
Gold
Moscow Special Alloys Processing Plant
CID001204
Conformant
Gold
Nadir Metal Rafineri San. Ve Tic. A.ª.
CID001220
Conformant
Gold
Navoi Mining and Metallurgical Combinat
CID001236
Not Enrolled
Gold
NH Recytech Company
CID003189
Active
Gold
Nihon Material Co., Ltd.
CID001259
Conformant
Gold
Ögussa Österreichische Gold-und Silber-Scheideanstalt GmbH
CID002779
Conformant
Gold
Ohura Precious Metal Industry Co., Ltd.
CID001325
Conformant
Gold
OJSC "The Gulidov Krasnoyarsk Non-Ferrous Metals Plant" (OJSC Krastsvetmet)
CID001326
Conformant
Gold
OJSC Novosibirsk Refinery
CID000493
Conformant





Gold
PAMP S.A.
CID001352
Conformant
Gold
Pease & Curren
CID002872
Not Enrolled
Gold
Penglai Penggang Gold Industry Co., Ltd.
CID001362
Not Enrolled
Gold
Planta Recuperadora de Metales SpA
CID002919
Conformant
Gold
Prioksky Plant of Non-Ferrous Metals
CID001386
Conformant
Gold
PT Aneka Tambang (Persero) Tbk
CID001397
Conformant
Gold
PX Précinox S.A.
CID001498
Conformant
Gold
Rand Refinery (Pty) Ltd.
CID001512
Conformant
Gold
Refinery of Seemine Gold Co., Ltd.
CID000522
Not Enrolled
Gold
Remondis Argentia B.V.
CID002582
Active
Gold
Republic Metals Corporation
CID002510
Conformant
Gold
Royal Canadian Mint
CID001534
Conformant
Gold
SAAMP
CID002761
Conformant
Gold
Sabin Metal Corp.
CID001546
Not Enrolled
Gold
Safimet S.p.A
CID002973
Conformant
Gold
SAFINA A.S.
CID002290
Active
Gold
Sai Refinery
CID002853
Not Enrolled
Gold
Samduck Precious Metals
CID001555
Conformant
Gold
SAMWON METALS Corp.
CID001562
Not Enrolled
Gold
SAXONIA Edelmetalle GmbH
CID002777
Conformant
Gold
Schone Edelmetaal B.V.
CID001573
Conformant
Gold
SEMPSA Joyería Platería S.A.
CID001585
Conformant
Gold
Shandong Tiancheng Biological Gold Industrial Co., Ltd.
CID001619
Not Enrolled
Gold
Shandong Zhaojin Gold & Silver Refinery Co., Ltd.
CID001622
Conformant
Gold
Sichuan Tianze Precious Metals Co., Ltd.
CID001736
Conformant
Gold
Singway Technology Co., Ltd.
CID002516
Conformant
Gold
SOE Shyolkovsky Factory of Secondary Precious Metals
CID001756
Conformant
Gold
Solar Applied Materials Technology Corp.
CID001761
Conformant
Gold
State Research Institute Center for Physical Sciences and Technology
CID003153
Not Enrolled
Gold
Sudan Gold Refinery
CID002567
Not Enrolled
Gold
Sumitomo Metal Mining Co., Ltd.
CID001798
Conformant
Gold
SungEel HiTech
CID002918
Conformant
Gold
T.C.A S.p.A
CID002580
Conformant
Gold
Tanaka Kikinzoku Kogyo K.K.
CID001875
Conformant





Gold
The Refinery of Shandong Gold Mining Co., Ltd.
CID001916
Conformant
Gold
Tokuriki Honten Co., Ltd.
CID001938
Conformant
Gold
Tongling Nonferrous Metals Group Co., Ltd.
CID001947
Not Enrolled
Gold
Tony Goetz NV
CID002587
Not Enrolled
Gold
TOO Tau-Ken-Altyn
CID002615
Not Enrolled
Gold
Torecom
CID001955
Conformant
Gold
Umicore Brasil Ltda.
CID001977
Conformant
Gold
Umicore Precious Metals Thailand
CID002314
Conformant
Gold
Umicore S.A. Business Unit Precious Metals Refining
CID001980
Conformant
Gold
United Precious Metal Refining, Inc.
CID001993
Conformant
Gold
Universal Precious Metals Refining Zambia
CID002854
Not Enrolled
Gold
Valcambi S.A.
CID002003
Conformant
Gold
Western Australian Mint trading as The Perth Mint
CID002030
Conformant
Gold
WIELAND Edelmetalle GmbH
CID002778
Conformant
Gold
YAMAMOTO PRECIOUS METAL CO., LTD.
CID002100
Conformant
Gold
Yokohama Metal Co., Ltd.
CID002129
Conformant
Gold
Yunnan Copper Industry Co., Ltd.
CID000197
Not Enrolled
Gold
Zhongyuan Gold Smelter of Zhongjin Gold Corporation
CID002224
Conformant
Tantalum
Asaka Riken Co., Ltd.
CID000092
Conformant
Tantalum
Changsha South Tantalum Niobium Co., Ltd.
CID000211
Conformant
Tantalum
D Block Metals, LLC
CID002504
Conformant
Tantalum
Duoluoshan
CID000410
Not Enrolled
Tantalum
Exotech Inc.
CID000456
Conformant
Tantalum
F&X Electro-Materials Ltd.
CID000460
Conformant
Tantalum
FIR Metals & Resource Ltd.
CID002505
Conformant
Tantalum
Global Advanced Metals Aizu
CID002558
Conformant
Tantalum
Global Advanced Metals Boyertown
CID002557
Conformant
Tantalum
Guangdong Rising Rare Metals-EO Materials Ltd.
CID000291
Conformant
Tantalum
Guangdong Zhiyuan New Material Co., Ltd.
CID000616
Conformant
Tantalum
H.C. Starck Co., Ltd.
CID002544
Conformant
Tantalum
H.C. Starck Hermsdorf GmbH
CID002547
Conformant
Tantalum
H.C. Starck Inc.
CID002548
Conformant
Tantalum
H.C. Starck Ltd.
CID002549
Conformant
Tantalum
H.C. Starck Smelting GmbH & Co. KG
CID002550
Conformant





Tantalum
H.C. Starck Tantalum and Niobium GmbH
CID002545
Conformant
Tantalum
Hengyang King Xing Lifeng New Materials Co., Ltd.
CID002492
Conformant
Tantalum
Jiangxi Dinghai Tantalum & Niobium Co., Ltd.
CID002512
Conformant
Tantalum
Jiangxi Tuohong New Raw Material
CID002842
Conformant
Tantalum
JiuJiang Janny New Material Co., Ltd.
CID003191
Conformant
Tantalum
JiuJiang JinXin Nonferrous Metals Co., Ltd.
CID000914
Conformant
Tantalum
Jiujiang Tanbre Co., Ltd.
CID000917
Conformant
Tantalum
Jiujiang Zhongao Tantalum & Niobium Co., Ltd.
CID002506
Conformant
Tantalum
KEMET Blue Metals
CID002539
Conformant
Tantalum
KEMET Blue Powder
CID002568
Conformant
Tantalum
King-Tan Tantalum Industry Ltd.
CID000973
Conformant
Tantalum
LSM Brasil S.A.
CID001076
Conformant
Tantalum
Metallurgical Products India Pvt., Ltd.
CID001163
Conformant
Tantalum
Mineração Taboca S.A.
CID001175
Conformant
Tantalum
Mitsui Mining and Smelting Co., Ltd.
CID001192
Conformant
Tantalum
Ningxia Orient Tantalum Industry Co., Ltd.
CID001277
Conformant
Tantalum
NPM Silmet AS
CID001200
Conformant
Tantalum
Power Resources Ltd.
CID002847
Conformant
Tantalum
QuantumClean
CID001508
Conformant
Tantalum
Resind Indústria e Comércio Ltda.
CID002707
Conformant
Tantalum
RFH Tantalum Smeltry Co., Ltd.
CID001522
Conformant
Tantalum
Solikamsk Magnesium Works OAO
CID001769
Conformant
Tantalum
Taki Chemical Co., Ltd.
CID001869
Conformant
Tantalum
Telex Metals
CID001891
Conformant
Tantalum
Ulba Metallurgical Plant JSC
CID001969
Conformant
Tantalum
XinXing HaoRong Electronic Material Co., Ltd.
CID002508
Conformant
Tantalum
Yichun Jin Yang Rare Metal Co., Ltd.
CID002307
Conformant
Tin
Alpha
CID000292
Conformant
Tin
An Vinh Joint Stock Mineral Processing Company
CID002703
Not Enrolled
Tin
Chenzhou Yunxiang Mining and Metallurgy Co., Ltd.
CID000228
Conformant
Tin
Chifeng Dajingzi Tin Industry Co., Ltd.
CID003190
Active
Tin
China Tin Group Co., Ltd.
CID001070
Conformant
Tin
CNMC (Guangxi) PGMA Co., Ltd.
CID000278
Not Enrolled
Tin
CV Ayi Jaya
CID002570
Conformant





Tin
CV Dua Sekawan
CID002592
Conformant
Tin
CV Gita Pesona
CID000306
Conformant
Tin
CV Tiga Sekawan
CID002593
Conformant
Tin
CV United Smelting
CID000315
Conformant
Tin
CV Venus Inti Perkasa
CID002455
Conformant
Tin
Dowa
CID000402
Conformant
Tin
Electro-Mechanical Facility of the Cao Bang Minerals & Metallurgy Joint Stock Company
CID002572
Not Enrolled
Tin
EM Vinto
CID000438
Conformant
Tin
Estanho de Rondônia S.A.
CID000448
Not Enrolled
Tin
Fenix Metals
CID000468
Conformant
Tin
Gejiu Fengming Metallurgy Chemical Plant
CID002848
Conformant
Tin
Gejiu Jinye Mineral Company
CID002859
Conformant
Tin
Gejiu Kai Meng Industry and Trade LLC
CID000942
Conformant
Tin
Gejiu Non-Ferrous Metal Processing Co., Ltd.
CID000538
Conformant
Tin
Gejiu Yunxin Nonferrous Electrolysis Co., Ltd.
CID001908
Conformant
Tin
Gejiu Zili Mining And Metallurgy Co., Ltd.
CID000555
Not Enrolled
Tin
Guandong Hanhe Non-ferrous Metal Smelting Plant
CID003116
Conformant
Tin
Guanyang Guida Nonferrous Metal Smelting Plant
CID002849
Conformant
Tin
HuiChang Hill Tin Industry Co., Ltd.
CID002844
Conformant
Tin
Huichang Jinshunda Tin Co., Ltd.
CID000760
Conformant
Tin
Jiangxi Ketai Advanced Material Co., Ltd.
CID000244
Conformant
Tin
Jiangxi New Nanshan Technology Ltd.
CID001231
Conformant
Tin
Magnu's Minerais Metais e Ligas Ltda.
CID002468
Conformant
Tin
Malaysia Smelting Corporation (MSC)
CID001105
Conformant
Tin
Melt Metais e Ligas S.A.
CID002500
Conformant
Tin
Metallic Resources, Inc.
CID001142
Conformant
Tin
Metallo Belgium N.V.
CID002773
Conformant
Tin
Metallo Spain S.L.U.
CID002774
Conformant
Tin
Mineração Taboca S.A.
CID001173
Conformant
Tin
Minsur
CID001182
Conformant
Tin
Mitsubishi Materials Corporation
CID001191
Conformant
Tin
Modeltech Sdn Bhd
CID002858
Active
Tin
Nghe Tinh Non-Ferrous Metals Joint Stock Company
CID002573
Not Enrolled
Tin
O.M. Manufacturing (Thailand) Co., Ltd.
CID001314
Conformant





Tin
O.M. Manufacturing Philippines, Inc.
CID002517
Conformant
Tin
Operaciones Metalurgical S.A.
CID001337
Conformant
Tin
Pongpipat Company Limited
CID003208
Not Enrolled
Tin
PT Aries Kencana Sejahtera
CID000309
Conformant
Tin
PT Artha Cipta Langgeng
CID001399
Conformant
Tin
PT ATD Makmur Mandiri Jaya
CID002503
Conformant
Tin
PT Babel Inti Perkasa
CID001402
Conformant
Tin
PT Bangka Prima Tin
CID002776
Conformant
Tin
PT Bangka Serumpun
CID003205
Conformant
Tin
PT Bangka Tin Industry
CID001419
Conformant
Tin
PT Belitung Industri Sejahtera
CID001421
Conformant
Tin
PT Bukit Timah
CID001428
Conformant
Tin
PT DS Jaya Abadi
CID001434
Conformant
Tin
PT Eunindo Usaha Mandiri
CID001438
Conformant
Tin
PT Inti Stania Prima
CID002530
Conformant
Tin
PT Karimun Mining
CID001448
Conformant
Tin
PT Kijang Jaya Mandiri
CID002829
Conformant
Tin
PT Lautan Harmonis Sejahtera
CID002870
Conformant
Tin
PT Menara Cipta Mulia
CID002835
Conformant
Tin
PT Mitra Stania Prima
CID001453
Conformant
Tin
PT O.M. Indonesia
CID002757
Conformant
Tin
PT Panca Mega Persada
CID001457
Conformant
Tin
PT Premium Tin Indonesia
CID000313
Conformant
Tin
PT Prima Timah Utama
CID001458
Conformant
Tin
PT REFINED BANGKA TIN
CID001460
Conformant
Tin
PT Sariwiguna Binasentosa
CID001463
Conformant
Tin
PT Stanindo Inti Perkasa
CID001468
Conformant
Tin
PT Sukses Inti Makmur
CID002816
Conformant
Tin
PT Sumber Jaya Indah
CID001471
Conformant
Tin
PT Timah (Persero) Tbk Kundur
CID001477
Conformant
Tin
PT Timah (Persero) Tbk Mentok
CID001482
Conformant
Tin
PT Tinindo Inter Nusa
CID001490
Conformant
Tin
PT Tommy Utama
CID001493
Conformant
Tin
Resind Indústria e Comércio Ltda.
CID002706
Conformant





Tin
Rui Da Hung
CID001539
Conformant
Tin
Soft Metais Ltda.
CID001758
Conformant
Tin
Super Ligas
CID002756
Not Enrolled
Tin
Thaisarco
CID001898
Conformant
Tin
Tuyen Quang Non-Ferrous Metals Joint Stock Company
CID002574
Not Enrolled
Tin
White Solder Metalurgia e Mineração Ltda.
CID002036
Conformant
Tin
Yunnan Chengfeng Non-ferrous Metals Co., Ltd.
CID002158
Conformant
Tin
Yunnan Tin Company Limited
CID002180
Conformant
Tungsten
A.L.M.T. TUNGSTEN Corp.
CID000004
Conformant
Tungsten
ACL Metais Eireli
CID002833
Conformant
Tungsten
Asia Tungsten Products Vietnam Ltd.
CID002502
Conformant
Tungsten
Chenzhou Diamond Tungsten Products Co., Ltd.
CID002513
Conformant
Tungsten
Chongyi Zhangyuan Tungsten Co., Ltd.
CID000258
Conformant
Tungsten
Fujian Jinxin Tungsten Co., Ltd.
CID000499
Conformant
Tungsten
Ganzhou Haichuang W Co., Ltd
CID002645
Active
Tungsten
Ganzhou Huaxing Tungsten Products Co., Ltd.
CID000875
Conformant
Tungsten
Ganzhou Jiangwu Ferrotungsten Co., Ltd.
CID002315
Conformant
Tungsten
Ganzhou Seadragon W & Mo Co., Ltd.
CID002494
Conformant
Tungsten
Ganzhou Yatai Tungsten Co., Ltd.
CID002536
Not Enrolled
Tungsten
Global Tungsten & Powders Corp.
CID000568
Conformant
Tungsten
Guangdong Xianglu Tungsten Co., Ltd.
CID000218
Conformant
Tungsten
H.C. Starck Smelting GmbH & Co.KG
CID002542
Conformant
Tungsten
H.C. Starck Tungsten GmbH
CID002541
Conformant
Tungsten
Hunan Chenzhou Mining Co., Ltd.
CID000766
Conformant
Tungsten
Hunan Chuangda Vanadium Tungsten Co., Ltd. Wuji
CID002579
Conformant
Tungsten
Hunan Chunchang Nonferrous Metals Co., Ltd.
CID000769
Conformant
Tungsten
Hunan Litian Tungsten Industry Co., Ltd.
CID003182
Conformant
Tungsten
Hydrometallurg, JSC
CID002649
Conformant
Tungsten
Japan New Metals Co., Ltd.
CID000825
Conformant
Tungsten
Jiangwu H.C. Starck Tungsten Products Co., Ltd.
CID002551
Conformant
Tungsten
Jiangxi Dayu Longxintai Tungsten Co., Ltd.
CID002647
Not Enrolled
Tungsten
Jiangxi Gan Bei Tungsten Co., Ltd.
CID002321
Conformant
Tungsten
Jiangxi Minmetals Gao'an Non-ferrous Metals Co., Ltd.
CID002313
Not Enrolled
Tungsten
Jiangxi Tonggu Non-ferrous Metallurgical & Chemical Co., Ltd.
CID002318
Conformant





Tungsten
Jiangxi Xinsheng Tungsten Industry Co., Ltd.
CID002317
Conformant
Tungsten
Jiangxi Xiushui Xianggan Nonferrous Metals Co., Ltd.
CID002535
Conformant
Tungsten
Jiangxi Yaosheng Tungsten Co., Ltd.
CID002316
Conformant
Tungsten
Kennametal Fallon
CID000966
Conformant
Tungsten
Kennametal Huntsville
CID000105
Conformant
Tungsten
Malipo Haiyu Tungsten Co., Ltd.
CID002319
Conformant
Tungsten
Moliren Ltd
CID002845
Conformant
Tungsten
Niagara Refining LLC
CID002589
Conformant
Tungsten
Nui Phao H.C. Starck Tungsten Chemicals Manufacturing LLC
CID002543
Conformant
Tungsten
Philippine Chuangxin Industrial Co., Inc.
CID002827
Conformant
Tungsten
South-East Nonferrous Metal Company Limited of Hengyang City
CID002815
Conformant
Tungsten
Tejing (Vietnam) Tungsten Co., Ltd.
CID001889
Conformant
Tungsten
Unecha Refractory metals plant
CID002724
Conformant
Tungsten
Vietnam Youngsun Tungsten Industry Co., Ltd.
CID002011
Conformant
Tungsten
Wolfram Bergbau und Hütten AG
CID002044
Conformant
Tungsten
Woltech Korea Co., Ltd.
CID002843
Conformant
Tungsten
Xiamen Tungsten (H.C.) Co., Ltd.
CID002320
Conformant
Tungsten
Xiamen Tungsten Co., Ltd.
CID002082
Conformant
Tungsten
Xinfeng Huarui Tungsten & Molybdenum New Material Co., Ltd.
CID002830
Conformant
Tungsten
Xinhai Rendan Shaoguan Tungsten Co., Ltd.
CID002095
Conformant

*
The information in this column is based on smelter or refiner information made publicly available by RMI as of May 9, 2018. The terms used have the following meanings:
Conformant means that a smelter or refiner participates in and has been listed as “Conformant” to the assessment protocols of the Responsible Minerals Assurance Process (“RMAP”).
Active means that the facility is in one of the stages of the audit cycle, anywhere from completion of the necessary documents to scheduling the audit date to enacting corrective actions in the post-audit phase.
Not Enrolled refers to smelters that are not currently participating in the RMAP. Included in this category are facilities that the RMI is currently reaching out to, those that are communicating with the RMI regarding participation in an audit, those that have refused to participate, and those that have not completed the mandatory annual re-audit and those that failed to meet the assessment protocols to pass as audit.






APPENDIX I - Countries of Origin
The information provided in this Appendix is based on the information collected from our suppliers and is provided in good faith. We will continue to update it as our due diligence process and third party data evolves.

Argentina, Australia, Austria, Benin, Bolivia (Plurinational State of), Brazil, Burkina Faso, Burundi, Cambodia, Canada, Chile, China, Colombia, Congo, Democratic Republic of the, Ecuador, Eritrea, Ethiopia, France, Germany, Ghana, Guatemala, Guinea, Guyana, Honduras, India, Indonesia, Japan, Kazakhstan, Laos, Madagascar, Malaysia, Mali, Mexico, Mongolia, Mozambique, Myanmar, Namibia, Nicaragua, Nigeria, Panama, Peru, Portugal, Russian Federation, Rwanda, Senegal, Sierra Leone, South Africa, Spain, Thailand, Togo, Uganda, United Kingdom of Great Britain and Northern Ireland, United States of America, Uzbekistan, Viet Nam, Zimbabwe